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Recent Posts in VALIC Financial Advisors Category

Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements

FINRA charged former Legend Equities broker Walter Joseph Marino with recommending unsuitable variable annuity replacements that benefitted him to the tune of $60,000 in commissions while his ...
Continue reading "Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements" »

FINRA's Recent Sanctions Underscore Compensation and Conflict of Interest Priorities

FINRA demonstrated its concern with conflict of interest situations posed by broker-dealer sales incentives and similarly problematic compensation structures in a recent enforcement action, in which ...
Continue reading "FINRA's Recent Sanctions Underscore Compensation and Conflict of Interest Priorities" »

VALIC Financial Advisors Fined $1.75 Million for Conflict of Interest, Supervisory Failures Related to Variable Annuities

FINRA fined VALIC Financial Advisors, Inc. a total of $1.75 million for filing to detect and address certain conflict of interest situations related to variable annuity (VA) ...
Continue reading "VALIC Financial Advisors Fined $1.75 Million for Conflict of Interest, Supervisory Failures Related to Variable Annuities" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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